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Frequently Asked Questions Performance Management

Performance Appraisal - Programs

If a notice of proposed action has been given to the employee, a change to an appraisal program should have no effect on the action. Regulations contain a specific provision, called the "savings provision," that safeguards administrative procedures pending under a previously approved appraisal program, from being disrupted by the implementation of new programs covered by these regulations. OPM's system approval procedures require agency appraisal programs to have a similar provision to safeguard pending administrative procedures when programs change.

Agencies are encouraged to involve employees in the design and implementation of their appraisal programs, award programs, and employee performance plans. Of course, where a union has been granted exclusive recognition, such involvement for bargaining unit employees must be through their elected union representatives.

An agency program must specify the length of its minimum period and that minimum must fall within any limits established by the agency appraisal system. When an agency decides to use the minimum period as the length of the opportunity period, the minimum period is one of the program features that may be subject to third-party review. Agencies are advised to be careful in determining the time limits to be used and avoid setting minimum periods that might be judged unreasonably short.

Ideally, an agency would close out the current appraisal period and issue ratings of record at the time specified under the existing appraisal program and then begin the next appraisal period under the terms of the new program.

Yes. Provided the temporary employees meet the Governmentwide requirements. An agency may exclude an employee who:

is serving in a position under a temporary position for less than 1 year,
agrees to serve without a performance evaluation, and
will not be considered for a reappointment or for an increase in pay based in whole or in part on performance.

No. The level designators (Level 1, Level 2, Level 3, Level 4, Level 5) described in Governmentwide regulations address summary levels only. An agency appraisal program can be designed to appraise elements using a mix of rating levels. For example, critical elements might be appraised at five levels and non-critical elements appraised as pass/fail. A methodology for deriving a summary rating must be in place, however. Agencies have flexibility to determine how their elements are appraised and their particular program design choices that agencies and their subcomponents make should reflect their own situations and needs.

No. Regulations do not require that the appraisal period be ended to change appraisal programs. However, agencies need to remember that the regulations permit only a single rating of record in a given appraisal period.

No. The statute requires that each employee be appraised against his or her performance standard(s). It does not allow for appraising an employee by "presuming" that an employee is meeting performance standards. For the same reason, the process for appraising employees described by the regulations does not provide for any "assumed" levels of performance.

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